Christopher A. Di Bonaventura
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Anthony Di Bonaventura, who also goes by Christopher A Di Bonaventura, Christopher A Dibonaventura, Christopher Anthony Dibonaventura, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1985. Christopher had worked at 4 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2009 - January 12, 2021
FIDELITY BROKERAGE SERVICES LLC
June 1, 2009 - October 8, 2009
MORGAN STANLEY
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
April 3, 1988 - November 22, 1995
CITIGROUP GLOBAL MARKETS INC.
March 19, 1985 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/26/2023
General Securities Representative ExaminationSeries 57TO
Date: 8/26/2023
Securities Trader ExamSeries 55
Date: 8/6/2012
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
